[Federal Register Volume 63, Number 75 (Monday, April 20, 1998)]
[Notices]
[Pages 19504-19507]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-10315]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Fiscal Year (FY) 1998 Funding Opportunities

AGENCY: Substance Abuse and Mental Health Services Administration, HHS.

ACTION: Notice of funding availability.

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SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA) Center for Substance Abuse Treatment (CSAT) announces the 
availability of FY 1998 funds for grants for the following activity. 
This activity is discussed in more detail under Section 4 of this 
notice. This notice is not a complete description of the activity; 
potential applicants must obtain a copy of the Guidance for Applicants 
(GFA) before preparing an application.

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                                                            Estimated                                           
                Activity                   Application        funds       Estimated No.       Project period    
                                            deadline        available       of awards                           
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Targeted Capacity Expansion............         6/19/98            $18M           40-50  3 yrs.                 
----------------------------------------------------------------------------------------------------------------

    Note: SAMHSA also published notices of available funding 
opportunities for FY 1998 in the Federal Register on January 6, 
1998, January 20, 1998, February 26, 1998, March 20, 1998, April 8, 
1998, and on April 16, 1998.

    The actual amount available for awards and their allocation may 
vary, depending on unanticipated program requirements and the volume 
and quality of applications. Awards are usually made for grant periods 
from one to three years in duration. FY 1998 funds for activities 
discussed in this announcement were appropriated by the Congress under 
Pub. L. No. 105-78. SAMHSA's policies and procedures for peer review 
and Advisory Council review of grant and cooperative agreement 
applications were published in the Federal Register (Vol. 58, No. 126) 
on July 2, 1993.
    The Public Health Service (PHS) is committed to achieving the 
health promotion and disease prevention objectives of Healthy People 
2000, a PHS-led national activity for setting priority areas. The 
SAMHSA Centers' substance abuse and mental health services activities 
address issues related to Healthy People 2000 objectives of Mental 
Health and Mental Disorders; Alcohol and Other Drugs; Clinical 
Preventive Services; HIV Infection; and Surveillance and Data Systems. 
Potential applicants may obtain a copy of Healthy People 2000 (Full 
Report: Stock No. 017-001-00474-0) or Summary Report: Stock No. 017-
001-00473-1) through the Superintendent of Documents, Government 
Printing Office, Washington, DC 20402-9325 (Telephone: 202-512-1800).

General Instructions

    Applicants must use application form PHS 5161-1 (Rev. 5/96; OMB No. 
0937-0189). The application kit contains the GFA (complete programmatic 
guidance and instructions for preparing and submitting applications), 
the PHS 5161-1 which includes Standard Form 424 (Face Page), and other 
documentation and forms. Application kits may be obtained from the 
organization specified for each activity covered by this notice (see 
Section 4).
    When requesting an application kit, the applicant must specify the 
particular activity for which detailed information is desired. This is 
to ensure receipt of all necessary forms and information, including any 
specific program review and award criteria.

[[Page 19505]]

    The PHS 5161-1 application form and the full text of each of the 
activities (i.e., the GFA) described in Section 4 are available 
electronically via SAMHSA's World Wide Web Home Page (address: http://
www.samhsa.gov).

Application Submission

    Unless otherwise stated in the GFA, applications must be submitted 
to: SAMHSA Programs, Center for Scientific Review, National Institutes 
of Health, Suite 1040, 6701 Rockledge Drive MSC-7710, Bethesda, 
Maryland 20892-7710*.

(* Applicants who wish to use express mail or courier service should 
change the zip code to 20817.)

APPLICATION DEADLINES: The deadlines for receipt of applications are 
listed in the table above. Please note that the deadlines may differ 
for the individual activities.
    Competing applications must be received by the indicated receipt 
dates to be accepted for review. An application received after the 
deadline may be acceptable if it carries a legible proof-of-mailing 
date assigned by the carrier and that date is not later than one week 
prior to the deadline date. Private metered postmarks are not 
acceptable as proof of timely mailing.
    Applications received after the deadline date and those sent to an 
address other than the address specified above will be returned to the 
applicant without review.

FOR FURTHER INFORMATION CONTACT: Requests for activity-specific 
technical information should be directed to the program contact person 
identified for each activity covered by this notice (see Section 4).
    Requests for information concerning business management issues 
should be directed to the grants management contact person identified 
for each activity covered by this notice (see Section 4).

SUPPLEMENTARY INFORMATION: To facilitate the use of this Notice of 
Funding Availability, information has been organized as outlined in the 
Table of Contents below. For each activity, the following information 
is provided:
     Application Deadline
     Purpose
     Priorities
     Eligible Applicants
     Grants/Cooperative Agreements/Amounts
     Catalog of Federal Domestic Assistance Number
     Contacts
     Application Kits

Table of Contents

1. Program Background and Objectives
2. Special Concerns
3. Criteria for Review and Funding
    3.1  General Review Criteria
    3.2  Funding Criteria for Scored Applications

4. Special FY 1998 SAMHS Activities

    4.1  Grants
    4.1.1  Grants to Expand Substance Abuse Treatment Capacity in 
Targeted Areas of Need

5. Public Health System Reporting Requirements
6. PHS Non-use of Tobacco Policy Statement
7. Executive Order 12372

1. Program Background and Objectives

    SAMHSA's mission within the Nation's health system is to improve 
the quality and availability of prevention, early intervention, 
treatment, and rehabilitation services for substance abuse and mental 
illnesses, including co-occurring disorders, in order to improve health 
and reduce illness, death, disability, and cost to society.
    Reinventing government, with its emphases on redefining the role of 
Federal agencies and on improving customer service, has provided SAMHSA 
with a welcome opportunity to examine carefully its programs and 
activities. As a result of that process, SAMHSA moved assertively to 
create a renewed and strategic emphasis on using its resources to 
generate knowledge about ways to improve the prevention and treatment 
of substance abuse and mental illness and to work with State and local 
governments as well as providers, families, and consumers to 
effectively use that knowledge in everyday practice.
    SAMHSA's FY 1998 Knowledge Development and Application (KD&A) 
agenda is the outcome of a process whereby providers, services 
researchers, consumers, National Advisory Council members and other 
interested persons participated in special meetings or responded to 
calls for suggestions and reactions. From this input, each SAMHSA 
Center developed a ``menu'' of suggested topics. The topics were 
discussed jointly and an agency agenda of critical topics was agreed 
to. The selection of topics depended heavily on policy importance and 
on the existence of adequate research and practitioner experience on 
which to base studies. While SAMHSA's FY 1998 KD&A programs will 
sometimes involve the evaluation of some delivery of services, they are 
services studies and application activities, not merely evaluation, 
since they are aimed at answering policy-relevant questions and putting 
that knowledge to use.
    SAMHSA differs from other agencies in focusing on needed 
information at the services delivery level, and in its question-focus. 
Dissemination and application are integral, major features of the 
programs. SAMHSA believes that it is important to get the information 
into the hands of the public, providers, and systems administrators as 
effectively as possible. Technical assistance, training, preparation of 
special materials will be used, in addition to normal communications 
means.
    SAMHSA also continues to fund legislatively-mandated services 
programs for which funds are appropriated.

2. Special Concerns

    SAMHSA's legislatively-mandated services programs do provide funds 
for mental health and/or substance abuse treatment and prevention 
services. However, SAMHSA's KD&A activities do not provide funds for 
mental health and/or substance abuse treatment and prevention services 
except sometimes for costs required by the particular activity's study 
design. Applicants are required to propose true knowledge application 
or knowledge development and application projects. Applications seeking 
funding for services projects under a KD&A activity will be considered 
nonresponsive.
    Applications that are incomplete or nonresponsive to the GFA will 
be returned to the applicant without further consideration.

3. Criteria for Review and Funding

    Consistent with the statutory mandate for SAMHSA to support 
activities that will improve the provision of treatment, prevention and 
related services, including the development of national mental health 
and substance abuse goals and model programs, competing applications 
requesting funding under the specific project activities in Section 4 
will be reviewed for technical merit in accordance with established 
PHS/SAMHSA peer review procedures.

3.1 General Review Criteria

    As published in the Federal Register on July 2, 1993 (Vol. 58, No. 
126), SAMHSA's ``Peer Review and Advisory Council Review of Grant and 
Cooperative Agreement Applications and Contract Proposals,'' peer 
review groups will take into account, among other factors as may be 
specified in the application guidance materials, the following general 
criteria:
     Potential significance of the proposed project;
     Appropriateness of the applicant's proposed objectives to 
the goals of the specific program;

[[Page 19506]]

     Adequacy and appropriateness of the proposed approach and 
activities;
     Adequacy of available resources, such as facilities and 
equipment;
     Qualifications and experience of the applicant 
organization, the project director, and other key personnel; and
     Reasonableness of the proposed budget.

3.2  Funding Criteria for Scored Applications

    Applications will be considered for funding on the basis of their 
overall technical merit as determined through the peer review group and 
the appropriate National Advisory Council (if applicable) review 
process.
    Other funding criteria will include:
     Availability of funds.
    Additional funding criteria specific to the programmatic activity 
may be included in the application guidance materials.

4. Special FY 1998 SAMHSA Activities

4.1  Grants

4.1.1  Grants to Expand Substance Abuse Treatment Capacity in Targeted 
Areas of Need (Short Title: Targeted Capacity Expansion, GFA No. TI 98-
006)
     Application Deadline: June 19, 1998.
     Purpose: The Substance Abuse and Mental Health Services 
Administration (SAMHSA), Center for Substance Abuse Treatment (CSAT), 
announces the availability of funds for grants to address gaps in 
treatment capacity by supporting rapid and strategic responses to 
demand for substance abuse (including alcohol and drugs) treatment 
services. The response to treatment capacity problems may include 
communities with serious, emerging drug problems as well as communities 
with innovative solutions to unmet need. The goal of this program is to 
create or expand a community's or cluster of communities' ability to 
provide an integrated creative and community-based response to a 
targeted, well documented substance abuse treatment capacity problem. 
SAMHSA/CSAT believe that the accomplishment of this goal requires that 
applications be submitted by the political entities that are 
responsible for the funding or provision of services in the targeted 
area. Applicants may either apply to expand an existing treatment 
program or create a new program. The proposed treatment services should 
be based on sound, scientifically-based theory or empirical evidence of 
effectiveness. Further, the services should be designed to 
significantly impact the identified treatment gap issue within the 
three year grant period and a plan for continuation of the effort 
beyond the life of the grant should be presented if such continuation 
is expected to be necessary. Finally, the proposed services should be 
consistent with and fit within the overall response to substance abuse 
problems in the target area.
    SAMHSA/CSAT encourages applications from a wide variety of sources 
including: Local governmental entities such as cities, towns, counties, 
and; regional governmental entities; and States, Territories, and 
Indian Tribal Governments. SAMHSA is also interested in applications in 
which several jurisdictions propose to work together to address an 
emerging or previously emerged need that cuts across their geographical 
boundaries. Finally, SAMHSA is interested in applications in which the 
proposed services are embedded within an integrated, creative and 
community-based response to substance abuse problems.
     Priorities: None.
     Eligible Applicants: Applications may be submitted by 
units of State, local (including cities, towns, or counties), or Indian 
Tribal Governments. Eligibility is being limited to units of government 
in recognition of the primacy of their responsibility for, and interest 
in, providing for the needs of their citizens and because the success 
of the program will depend upon the authority and ability available to 
units of government to broadly coordinate the variety of other 
resources necessary to full program success.
    Applications covering more than one unit of government at the same 
or different levels must be submitted by one agency which would be the 
grantee on behalf of all participating units and be accompanied by 
letters of endorsement from the heads of the other participating units.
     Grants/Amounts: Approximately $18 million will be 
available to support awards under this GFA in FY 1998. Awards are 
expected to range in amount from $100,000 to $750,000 in total (direct 
plus indirect) costs. It is planned that these funds will be reserved 
in three pools based on the size of the population in the geographical 
area to be served (as opposed to the population in need of services). 
For example, if the State applied on behalf of a rural community, it 
would be the population of that community, not the State population or 
the estimated number of persons needing services, that would determine 
the appropriate funding pool. Indian Tribal Governments will be 
included in one of the pools without regard to the size of population 
to be served. Only after applicants with acceptable technical merit 
scores in the first two pools have been funded will any amount in 
excess from those two pools be distributed to the third pool. The three 
pools are:
    $3 million is reserved for rural projects serving areas with 
populations of 30,000 or fewer people and projects proposed by Indian 
Tribal Governments;
    $3 million is reserved for projects serving areas with populations 
of 30,000 or fewer people whether urban or rural; and
    $12 million is reserved for projects serving areas with populations 
of more than 30,000 (of this amount a minimum of $2 million is reserved 
for cities with a population of more than 30,000).
     Catalog of Domestic Federal Assistance: 93.230
     Program Contact: For programmatic or technical assistance 
(not for application kits) contact: Jane Taylor, Ph.D., Director, 
Division of Practice and Systems Development Center for Substance Abuse 
Treatment, SAMHSA, Rockwall II, 8th Floor, 5600 Fishers Lane, 
Rockville, MD 20857, (301) 443-3820.
     For grants management assistance, contact: Ms. Andrea 
Brandon, Division of Grants Management, OPS, SAMHSA, Rockwall II, Suite 
360, 5600 Fishers Lane, Rockville, MD 20857, (301) 443-9667.
     Application Kits are available from: National 
Clearinghouse for Alcohol and Drug Information, P.O. Box 2345, 
Rockville, Maryland 20847-2345, 1-800-729-6686.

5. Public Health System Reporting Requirements

    The Public Health System Impact Statement (PHSIS) is intended to 
keep State and local health officials apprised of proposed health 
services grant and cooperative agreement applications submitted by 
community-based nongovernmental organizations within their 
jurisdictions.
    Community-based nongovernmental service providers who are not 
transmitting their applications through the State must submit a PHSIS 
to the head(s) of the appropriate State and local health agencies in 
the area(s) to be affected not later than the pertinent receipt date 
for applications. This PHSIS consists of the following information:
    a. A copy of the face page of the application (Standard form 424).
    b. A summary of the project (PHSIS), not to exceed one page, which 
provides:

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    (1) A description of the population to be served.
    (2) A summary of the services to be provided.
    (3) A description of the coordination planned with the appropriate 
State or local health agencies.
    State and local governments and Indian Tribal Authority applicants 
are not subject to the Public Health System Reporting Requirements.
    Application guidance materials will specify if a particular FY 1998 
activity described above is/is not subject to the Public Health System 
Reporting Requirements.

6. PHS Non-use of Tobacco Policy Statement

    The PHS strongly encourages all grant and contract recipients to 
provide a smoke-free workplace and promote the non-use of all tobacco 
products. In addition, Pub. L. 103-227, the Pro-Children Act of 1994, 
prohibits smoking in certain facilities (or in some cases, any portion 
of a facility) in which regular or routine education, library, day 
care, health care, or early childhood development services are provided 
to children. This is consistent with the PHS mission to protect and 
advance the physical and mental health of the American people.

7. Executive Order 12372

    Applications submitted in response to all FY 1998 activities listed 
above are subject to the intergovernmental review requirements of 
Executive Order 12372, as implemented through DHHS regulations at 45 
CFR part 100. E.O. 12372 sets up a system for State and local 
government review of applications for Federal financial assistance. 
Applicants (other than Federally recognized Indian tribal governments) 
should contact the State's Single Point of Contact (SPOC) as early as 
possible to alert them to the prospective application(s) and to receive 
any necessary instructions on the State's review process. For proposed 
projects serving more than one State, the applicant is advised to 
contact the SPOC of each affected State. A current listing of SPOCs is 
included in the application guidance materials. The SPOC should send 
any State review process recommendations directly to: Office of 
Extramural Activities Review, Substance Abuse and Mental Health 
Services Administration, Parklawn Building, Room 17-89, 5600 Fishers 
Lane, Rockville, Maryland 20857.
    The due date for State review process recommendations is no later 
than 60 days after the specified deadline date for the receipt of 
applications. SAMHSA does not guarantee to accommodate or explain SPOC 
comments that are received after the 60-day cut-off.

    Dated: April 14, 1998.
Patricia S. Bransford,
Acting Executive Officer, Substance Abuse and Mental Health 
Administration.
[FR Doc. 98-10315 Filed 4-17-98; 8:45 am]
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